Christopher Brennen
Christopher Brennen is a registered investment advisor at LPL Financial LLC, based in New Hartford, NY, with 31 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
9 Oxford Road, New Hartford, NY, 13413
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Regulatory History (4)
Employment Separation After Allegations
August 2021Criminal
February 2021Customer Dispute
November 2015Customer Dispute
July 2004Other Business ActivitiesSells Insurance
Christopher operates as a financial professional under the name Christopher A. Brennen and is a managing director at Sedgwick Wealth Partners, dedicating full-time hours to each. He also sells fixed annuities, life/health, and long-term care insurance, but spends minimal time on these activities.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Cadaret, Grant & CO., INC.Broker
Cadaret Grant & CO INC
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Key Investment Services LLCBroker
Key Investment Services LLC
LPL Financial LLCBroker
LPL Financial LLC
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Cco Investment Services CORP.
Cco Investment Services CORP.Broker
Linsco/private Ledger CORP.Broker
Morgan Stanley Dw INC.Broker
Flagship Securities, INC.Broker
Pruco Securities CorporationBroker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.